FERMI NATIONAL ACCELERATOR LABORATORY

 

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DIRECTOR'S POLICY MANUAL

July 1, 2005

 

Approved by:  Piermaria J. Oddone, Director

 

Revised 03/25/08


 

FERMILAB POLICY MANUAL

Table of Contents

 

 

Section 1 - Introduction

Section 2 - Fermilab Document Hierarchy

Section 3 - List of Fermilab Policies

 


 

Section 1

Fermilab Policy Manual

This Manual provides a compilation of the Fermilab Policies that constitute the management practices of the laboratory. The purpose of this manual is to control Fermilab policy, practices and procedures, to assure appropriate flowdown, response and implementation of externally imposed requirements and internally developed initiatives. The policy system includes necessary documentation for receipt, distribution, review, control and response of internally and externally imposed DOE Orders, Federal, state and local laws and regulations. The process further provides for consistent review and interpretation of DOE directives, Federal, State and local laws and regulations, formal establishment of policy with implementation guidance, development of specific implementation procedures by line organizations, independent review and formal approval of procedures, control of changes to policy and procedures, and independent audit and self-assessment of policy implementation.

Fermilab policies typically are initiated as a result of either external input (e.g., new DOE Orders or Federal, State and local laws and regulations) or internal Fermilab initiatives. External initiators, normally DOE Orders, are transmitted in formal correspondence. Internal initiatives usually result from managers becoming aware of Federal, state and local laws and regulations that have an impact on the laboratory.

Section 2


Document Hierarchy

1. Laboratory Policy

Laboratory policies are top-level documents that provide guidance to the laboratory. These documents are the expression of the Director's management philosophy and are the management documents for the laboratory. These policies are developed and approved by the Director with the assistance of the Associate Director for Administration.

All policy documents reside in the Fermilab Policy Manual, which is a controlled document. Subordinate documents implement the Director's policies and are the responsibility of the Division/Section Heads. It is the responsibility of the Division/Section Heads to ensure that all sub-ordinate documents developed by the Divisions and Sections are consistent with and in support of the Director's policy.

2. Programs

Program documents are developed by the Division/Section Heads to implement the policies formulated by the Director. These programs may be laboratory-wide if necessary or directed to specific activities as required. Programs consist of statements of strategies and objectives, and methods to accomplish policy objectives as stated by the Director in the Fermilab Policy Manual. Line management is responsible for the implementation of the programs.

3. Program Implementation Plans

Program Implementation Plans identify Division/Section organization, responsibilities, and resources that are necessary to accomplish the objectives of the Division/Section programs. The plans are developed by Division /Section personnel and are reviewed by Division/Section Heads for consistency with laboratory programs. They are approved by Division/Section Heads.

4. Procedures

Procedures are dated, detailed step-by-step courses of action for carrying out policy or program elements. Laboratory-wide procedures will be developed where a standard approach throughout the laboratory is deemed the best course of action. These procedures will be reviewed and approved by the appropriate Division/Section Head. If they are laboratory-wide in scope they will be approved by the Director or his designate. For example, Laboratory-wide procedures have been established for obtaining protective footwear and eyewear.


 

Section 3

List of Fermilab Policies

 

1.000 Policy on Policies

2.000 Personnel

3.000 ES&H

4.000 Operations

5.000 Maintenance

6.000 Procurement

7.000 Make or Buy

8.000 Design

9.000 Experiments

10.000 Quality Assurance

11.000 Property

12.000 Project Management

13.000 Document Control

14.000 Security & Site Access

15.000 Financial Management

16.000 Discretionary Funds

17.000 Community Outreach

18.000 Construction/Modification

19.000 Training

20.000 Assessments

21.000 Computing

22.000 Fermilab Scientific Appointments

23.000 Public Affairs

24.000 Freedom of Information Act Requests

25.000 Smoking

26.000 Substance Abuse

27.000 Anti-Harassment

28.000 Emeritus Status

29.000 Guest Appointments

30.000 Ozone Depleting Substances

31.000 Demonstrations

32.000 Honoraria

33.000 Interactions with Legislators

34.000 Loaning Tools

35.000 Foreign Travel Approval

36.000 Facility Reuse Program

37.000 Code of Conduct

No. 1.000 Rev. 0

1.0        Title

Policy on Policies

 

2.0        Effective Date

1/1/99

 

3.0        Scope

The Laboratory Director has overall responsibility for establishing and maintaining Fermilab’s policies. It is the policy of Fermilab to operate the Laboratory consistent with all contract requirements and commitments and to comply with all applicable DOE Orders, Federal, State and local laws and regulations. In all cases, the Directorate receives and reviews all new DOE Orders or other requirements imposed on the Laboratory, and establishes Fermilab policies. Specific responsibilities for policy development and conduct of the annual review of existing policies have been delegated to the Associate Director for Administration.

 

4.0       Applicability

All Fermilab policies issued by the Director have Laboratory-wide applicability. All Laboratory employees shall follow Fermilab policies that are implemented by Division/Section programs and procedures. The Directorate shall approve Division/Section programs and procedures that implement Laboratory-wide policies.

 

5.0        Process

Upon receipt of a DOE Directive, Order, or other outside initiative, the document shall be forwarded to the Associate Director for Administration, who is designated as the central point of contact for these documents. The Associate Director for Administration shall review the document, in conjunction with current policies and practices, for applicability at Fermilab. This includes an applicability review of the document against the Universities Research Association, Inc. (URA) contract for the operation of the Fermi National Accelerator Laboratory to assess consistency with contract requirements and commitments. The Associate Director is responsible for developing a formal position on the applicability of the new directive, and determine one of three possible courses of action: 1.) the directive does not apply to Fermilab; 2.) a waiver or postponement of the directive's requirements should be sought; 3.) the directive does apply in whole or in part, and sets an implementation schedule and approach for the development of a policy and implementation plan.

The Associate Director for Administration, is responsible for implementing follow-up of the selected course of action. In the case of alternative 3, a policy-working group will normally be established by the Associate Director for Administration to draft the policy for review and approval.

Fermilab policies may also be internally initiated from the Office of the Director in which case the Associate Director for Administration will provide policy development guidance to a policy working group, which has the responsibility for drafting the policy for review and approval.

The policy working group assigned responsibility for a DOE Directive or internal Fermilab initiative normally prepares a plan for implementation of the Directive or initiative, and drafts a policy statement for the Director’s signature. This policy shall be consistent with the Fermilab contract and existing Fermilab policies, procedures and programs.

All Fermilab policies require review and signature of the Director. Approved policies shall be incorporated into the Fermilab Policy Manual, designated by sequential number with revision number and distributed as a formal, controlled, Laboratory-wide document.

If formal procedures are needed for the implementation of a new policy, the procedures will be prepared by the responsible implementing organization. Procedures shall then be reviewed by cognizant organizations, including the Directorate, and other line organizations, and approved by the cognizant authority. Required training shall be conducted prior to implementation. The Directorate shall approve all division/section level procedures that implement Laboratory-wide policies.

Self-assessments performed, as part of the ongoing Fermilab Self-Assessment Program, shall include policy reviews to assure that actual practices or operations are consistent with the intent of the policy and any implementing procedures.

 

6.0        Change Process

Change requests for all policies contained in this manual are to be submitted to the Associate Director for Administration in writing for processing. All changes to this manual require the Director's signature. Revisions to Division/Section policy implementing procedures shall require the same level of review and approval as required for issuance. Requesters will be notified of the disposition of their requests at the completion of the analysis of the impact on existing policies and procedures. No others may publish or disseminate policy that has scope or effect outside their immediate area of responsibility


 

No. 2.000 Rev. 0

1.0        Title

Personnel

2.0        Effective Date

1/1/99

3.0         Scope

This policy addresses the employment practices of the laboratory that implement Federal, State and local laws and regulations.

4.0        Applicability

This policy applies to all employees of Fermilab, Users, Visitors, Fermilab contractors and their subcontractors.

5.0         Policy

It shall be the policy of Fermilab to employ qualified individuals without discriminating on the basis of race, gender, color, national origin, age, military background and disability. All employment decisions shall be based on objectively obtained data and uniformly applied information. The Laboratory Services Section will publish and maintain a Personnel Policy Guide that contains the procedures for use within the laboratory.


No. 3.000 Rev. 4


Environment, Safety and Health

 

2.0         Effective Date

 

            02/15/2008

 

3.0         Scope

 

            This policy addresses the laboratory-wide establishment of an ES&H program.

 

4.0         Applicability

 

            This policy applies to all employees of Fermilab and to Users, Visitors, Fermilab             contractors and their subcontractors when they are on-site.

 

5.0         ES&H Policy

 

Fermilab employees, subcontractors, and users will only conduct work and operations in a safe and environmentally sound manner.

 

All persons who enter shall fully comply with all procedures, instructions and directives contained in the Fermilab ES&H Manual in order to assure a safe and environmentally sound workplace.

 

It is Fermilab's policy to integrate environment, safety and health protection into all aspects of our work, utilizing the principles and core functions of the Integrated ES&H Management System and implemented through the appropriate lines of management.

 

Every person on site is responsible for hazard reduction and is accountable for performing all activities in a safe and environmental manner. Every person has the right and responsibility to stop work or decline to perform an assigned task because of a reasonable belief that the task poses an imminent risk of death, serious physical or environmental harm, or other hazards to workers.  No one will be subjected to reprisal for taking such an action, or for raising a concern.

 

The ES&H Section shall prepare, maintain and update an ES&H manual to implement this policy that is for use by all Division/Sections. Division/Section Heads shall establish and maintain an ES&H program for their respective areas of responsibility in accordance with the Fermilab ES&H Manual.

 

Safety and Health Policy

 

It is the policy of this Laboratory to provide a safe and healthful workplace for Employees, Users, Visitors, Contractors and their Subcontractors.

The Safety and Health (SH) Program includes the following features:

 

·        Compliance with applicable standards and Local, State and Federal legal requirements through Fermilab's Work Smart Set of Standards (WSS) and the contract between Fermilab Research Alliance and the Department of Energy.

 

·        Prevention of injury and ill health and continual improvement in SH management and performance.

 

·        Prompt abatement of identified hazards. To the maximum extent practicable, all hazards shall be eliminated or minimized through engineering or administrative controls. Where engineering or administrative controls are not feasible, appropriate personal protective equipment (PPE) shall be provided by the organization free of charge. Where hazard abatement resources are limited, priorities shall be assigned to take care of the most serious problem first. Appropriate notices shall be posted to warn employees of unabated serious hazards and to define interim protective measures.

 

·        Procedures to review, in advance of construction/procurement, the design of facilities, systems and subsystems to ensure SH hazards are eliminated or controlled through the life cycle.

 

·        Thorough incident  investigations and a comprehensive OSH management information system which provides all SH data required by federal agencies and contractual requirements.

 

·        A comprehensive occupational health surveillance program, both medical and industrial hygiene, implemented by qualified personnel, including:

 

o       Industrial Hygiene programs that identify and monitor potential hazards in the workplace.

o       Medical surveillance programs that monitor employees who are exposed to potential hazards.

o       Trend analysis to identify increasing exposures or groups of employees exhibiting the same medical symptoms.

 

·        Documents and records to show compliance with the WSS, this policy and the Fermilab ES&H Manual.

 

 

Environmental Policy

 

Fermi National Accelerator Laboratory conducts scientific research with regard for the protection of the community and the environment and compliance with all applicable environmental laws and regulations.  We believe that high standards of environmental practice are fully consistent with our search for an understanding of the fundamental properties of nature.  Through our Environmental Management System (EMS) we are committed to protecting the environment in the daily conduct of experimental physics.

 

To advance the goals of continual improvement in our programs for conserving, enhancing and restoring environmental quality, complying with applicable legal requirements and identified environmental aspects, and establishing the framework for setting and reviewing environmental objectives and targets, Fermilab's policy is to:

 

·   Integrate environmental considerations into our planning and decision-making processes, evaluate the environmental impact of our actions and take all necessary measures to mitigate adverse effects.

 

·   Employ sound pollution prevention and waste reduction practices by avoiding waste generation when possible, minimizing pollution at the source where feasible and aggressively pursuing recycling opportunities.

 

·   Minimize our emissions and effluents by employing cost-effective operational controls.

 

·   Employ products, whenever possible, through design or procurement, that contain recycled materials, prevent pollution, are safe, energy-efficient, and protective of the environment, and can be reused, recycled or disposed of safely.

 

·   Incorporate the philosophy of sustainability in all our activities wherever, and to the maximum extent, consistent with our mission.

 

·   Avoid harm to cultural resources (e.g., historic properties, archaeological resources, cemeteries, etc.), protected species, natural habitats and ecologically sensitive areas wherever and whenever feasible.

 

·   Continually improving our programs for protecting our environment through active self-assessment, and act swiftly and responsibly to correct conditions that may endanger health, safety, or the environment, report them promptly, and inform everyone that may be affected.

 

·   Demonstrate to the public the means to minimize or avoid the detrimental impact of scientific research on the environment and to foster environmental awareness in the community.

 

·   Educate experimenters and employees at all levels to appreciate and protect our environmental resources by adhering to and implementing this policy.

 

 

 


 No. 4.000 Rev. 0

1.0        Title

Operations

2.0        Effective Date

1/1/99

3.0        Scope

This policy addresses the safe operation of the equipment and facilities that comprise Fermilab. Particular emphasis is placed on continuous shift operations.

4.0         Applicability

This policy applies to all operations that are conducted at Fermilab.

5.0         Policy

It is the policy of Fermilab to conduct all operations in a safe, responsible manner. Division/Section Heads shall implement programs for their areas of responsibility to insure that all operations are conducted in this manner. Organizations that have continuous operations shall have procedures in place that assure the smooth and safe transition of operations to each succeeding shift.

 


 

 

No. 5.000 Rev. 0

1.0         Title

Maintenance

2.0         Effective Date

1/1/99

3.0         Scope

This policy covers all of the maintenance activities at the laboratory.

4.0         Applicability

This policy applies to all employees of Fermilab and Users, Visitors, Fermilab contractors and their subcontractors when on-site.

5.0         Policy

Fermilab has four general goals for its maintenance program.

1.      That facilities and equipment are maintained in an operating and safe condition.

2.      That maintenance operations are conducted in a safe, deliberate and efficient manner.

3.      That maintenance activities are carried out with minimal impact on facility or equipment availability.

4.      That systems are maintained with the objective of achieving high reliability within an established budget.

To achieve these goals, Fermilab incorporates the following specific policies.

 Facility Maintenance:

Fermilab will carry out facility condition assessment surveys on a three-year cycle. The facilities surveyed will include all buildings, structures, and utilities. The results of the assessment will be incorporated into a Maintenance Management Plan that will include prioritization of tasks and a long-term schedule for completion of maintenance related tasks.

Accelerator and Beam-Line Maintenance:

The accelerators and beam-lines will be treated as systems with specific operating goals. The relative success of achieving these goals will be tracked by performance measures. Goals are established by agreement with the Director. The maintenance program will be designed to meet the goals established for each accelerator and beam-line.

Fermilab's operating goals for accelerator and beam-line systems will include:

Operating Reliability, including up-time and availability.

Impact on ES&H. For example, to minimize waste streams, minimize accident loss time, and to provide healthful working conditions.

For each accelerator or beam-line system, the maintenance plan will be designed to optimize predictive, preventative and corrective maintenance activities during scheduled and unscheduled shutdowns. Each shutdown will be uniquely configured to balance the activities, logistics and crafts required. During periods of machine operations, short maintenance shutdowns are discussed at regularly scheduled operations meetings and then coordinated by the Beams Division Run Coordinator. For longer shutdowns, plans are presented at the weekly scheduling meeting and approved by the Director.

Detector Maintenance:

Major detector systems will be treated as systems with specific operating goals, including specific goals for up-time and availability. The relative success of achieving these goals will be tracked by performance measures. Goals are established by agreement with the Director.

Research equipment will be maintained under the direction of a responsible research scientist. Maintenance will be commensurate with the requirements of the research being done with the equipment. The maintenance program will include a budget and schedule, and a mechanism for tracking equipment failure. A program for preventive and predictive maintenance should also be developed if appropriate.

 

  


No. 6.000 Rev. 0

1.0         Title

Procurement

2.0         Effective Date

1/1/99

3.0         Scope

This policy covers the negotiation and contracting for all goods and services that are obtained by the laboratory.

4.0         Applicability

This policy applies to all employees of Fermilab, Users and any others who use an account at Fermilab to acquire goods and services.

5.0         Policy

It is Fermilab's procurement policy to abide by all provisions of the prime contract, the applicable Federal, state and local laws and regulations, and good business practices. It is the policy of the Laboratory to obtain competition for goods and services in our procurements to the maximum extent practical.

Authority to Commit the Laboratory

All Division/Section Heads and a number of employees have been delegated signature authority in various dollar amounts. This authority is for internal management purposes and does not empower its holders to make commitments, orally or in writing, that contractually bind the Laboratory.

The authority to make contractual commitments outside of the Laboratory is delegated specifically to me by Universities Research Association, Inc., and I, in turn, have authorized the Head of the Business Services Section to bind the Laboratory contractually. He, in turn, has delegated parts of this authority to various procurement personnel. Only those persons possessing such specifically delegated authority may make commitments or sign documents that contractually bind the Laboratory.

Responsibility of Staff in Dealing with Outside Organizations

Scientific and technical staff personnel often become involved in the procurement process. These persons do not possess authority to commit the Laboratory, and they must exercise restraint and discretion in their communications with outside organizations so that their comments are not construed by the latter as commitments on behalf of the Laboratory. Even casual conversation can result in potential bidders, contractors, or vendors inferring the existence of a commitment when it was not intended by the Laboratory. In some instances, a legally binding oral contract or contract change could result. Procurement personnel, as assigned by the Head of the Business Services Section, are responsible for all negotiations on contracts and purchase orders. This authority cannot be assumed by other Fermilab personnel.

Non-Competitive Contracting

It is the responsibility of the Laboratory to obtain competition for goods and services in our procurements to the maximum extent practical. We have recently been questioned about the adequacy of our justification for placement of contracts without competition. I have requested the Head of the Business Services Section to review our procedures for sole source justifications to ensure that we meet the stringent criteria which we are legally bound to follow for non-competitive procurements.

After-the-Fact Requisitions

In the past, GAO has indicated instances of after-the-fact contracting which occurred at other laboratories as a result of Laboratory personnel dealing with contractors prior to involvement of the Business Services Section procurement personnel. The commencement of work can only be authorized by procurement personnel with proper authority. The Laboratory is not obligated and will not pay for work or services that were initiated before a legally binding contract or purchase order becomes effective. It is possible that the Fermilab staff person making a commitment could be personally liable to a party he or she induced to begin work prior to the existence of a contract.

Invoice Certification

Anyone certifying an invoice for payment by the Laboratory must be fully cognizant of facts related to such invoices, particularly that the services have been performed or the supplies delivered in an acceptable manner.


 

 No. 7.000 Rev. 0

1.0         Title

Make or Buy Policy

2.0         Effective Date

1/1/99

3.0         Scope

This policy addresses the appropriate use of "make or buy" decisions to maintain appropriate skills and expertise within the laboratory.

4.0         Applicability

This policy applies to all Fermilab employees.

5.0         Policy

In keeping with its research mission, Fermilab does not routinely engage in the type of operations (i.e., manufacturing) requiring "make-or-buy" decisions. It is the general policy of the Federal Government to rely upon the private sector for goods and services and to avoid competition with the private sector. It is likewise the general policy of Fermilab to procure needed products from the private sector at the most economical cost and not to fabricate an item or component in-house unless the item is not available (quality, quantity, delivery, and other essential factors considered) from a private source at equal or lower prices. Since circumstances may exist, however, where it is necessary and beneficial to utilize in-house facilities and labor, the Laboratory recognizes the need to maintain and support efficient in-house facilities and capabilities in program-critical areas.

When the requester of a product indicates that in-house sources (chargeback organizations) should be used and where the estimated value added would exceed $50,000, he or she shall prepare a justification which addresses the applicable factors from the following list. A description of the work to be performed and the justification shall then be submitted to the responsible Division/Section Head for concurrence. The Head of the Business Services Section will then review and approve this justification. When the estimated value exceeds $100,000, the Directorate will also review and approve the justification.

Factors to be Considered

The technical nature of the item, future maintenance and repair requirements, engineering, tooling, start-up costs, market conditions, and the availability of personnel and material.

The competence, abilities, experience, and operational capacities available from in-house and outside sources.

The effects on the employment levels, capacity, workload and capital investments of the in-house organization capable of providing the required product or service.

The maintenance of a well-trained work force to perform services not readily available from commercial sources; i.e., repair of radioactive components.

The environmental, safety, health, and/or legal ramifications associated with outside sources.

The impact of the product or service on the program schedule and/or criticality of operations.

The anticipated number and technical complexity of design changes inherent to the product.

General considerations such as the quantity, quality, delivery, and overall cost of the required item(s).

 


No. 8.000 Rev. 0

1.0         Title

Design

2.0         Effective Date

1/1/99

3.0         Scope

This policy covers the design of equipment and apparatus used at Fermilab.

4.0         Applicability

This policy applies to all Fermilab employees, Users and Visitors.

5.0         Policy

All equipment designed for use in the laboratory shall be designed in accordance with the Fermilab Engineering Standards Manual and generally accepted Engineering best practices.


No. 9.000 Rev. 0

1.0         Title

Experimenters/Users Identification

2.0         Effective Date

1/1/99

3.0         Scope

This policy addresses the badge requirements for all Users and Visitors.

4.0         Applicability.

This policy applies to all Users and Visitors

5.0         Policy

All users are to have valid Fermilab users' identification cards. The Laboratory issues such ID cards only to bona fide users, defined as visiting scientists, graduate students or technical support staff affiliated with institutions participating in Fermilab experiments. The spokesperson for the applicant's Fermilab experiment signs the ID application form. (A person who lacks appropriate institutional affiliation may obtain a Fermilab user's ID card at the specific request of the spokesperson for the applicant's experiment, or at the request of the Fermilab Directorate.) To obtain a Fermilab user's ID, the applicant must certify current medical insurance coverage. Fermilab users' IDs are normally issued for two years. However, if a user's insurance coverage or institutional affiliation lapses, Fermilab considers the user's ID no longer valid.


No. 10.000 Rev. 2

1.0        Title

Quality Assurance

 

2.0        Effective Date

   03/12/2008